UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

 

PURSUANT TO SECTION 13 OR 15(d)

 

OF THE SECURITIES EXCHANGE ACT OF 1934

 

Date of report (Date of earliest event reported): March 22, 2021 (March 22, 2021)

 

ATOSSA THERAPEUTICS, INC.

 

(Exact name of registrant as specified in its charter)

 

Delaware		001-35610		26-4753208
(State or other jurisdiction of incorporation or organization)		(Commission File Number)		(I.R.S. Employer Identification No.)

 

107 Spring Street

Seattle, Washington 98104

(Address of Principal Executive Offices) (Zip Code)

 

Registrant’s telephone number, including area code: (206) 325-6086

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class of securities:		Trading Symbol(s):		Name of exchange on which registered:
Common Stock, par value $0.18		ATOS		Nasdaq Capital Market

Securities registered pursuant to Section 12(g) of the Act: None

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company ☐

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

Item 1.02. Termination of a Material Definitive Agreement.

 

On March 21, 2021, Atossa Therapeutics, Inc. terminated the Equity Distribution Agreement, dated September 25, 2020, previously entered into with Maxim Group LLC (the “Sales Agreement”). As a result of the termination of the Sales Agreement, no further sales of common stock will be made thereunder.

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

						Atossa Therapeutics, Inc.
Date: March 22, 2021						By:		/s/ Kyle Guse
								Kyle Guse Chief Financial Officer